Compliance Manager

Compliance Manager 4.8 4.8 out of 5 stars 148 E Grand River Ave, Williamston, MI 48895 Hybrid work CG Financial Services 4 reviews

Description:

We are seeking a highly motivated Compliance Manager to support and enhance our firm's regulatory compliance program within a dynamic Registered Investment Adviser (RIA) environment. This role works closely with the Chief Compliance Officer (CCO) and senior leadership to ensure adherence to federal and state securities regulations while promoting a culture of compliance across the organization. This position plays a critical role in advising the business on regulatory requirements, evaluating risk, and exercising independent judgment in the administration of the firm's compliance program. Key Responsibilities Support the design, implementation, and continuous improvement of the firm's compliance program, including evaluating effectiveness and recommending enhancements Maintain and update compliance policies, procedures, and disclosures (including Form ADV), exercising independent judgment in interpreting regulatory requirements Monitor regulatory developments and assess their impact on firm operations, providing recommendations to leadership Conduct compliance testing and surveillance across trading, billing, marketing, and recordkeeping Utilize ComplianceAlpha to manage testing workflows, track regulatory obligations, and document results Assist in regulatory filings and examinations, coordinating cross-functional responses Oversee compliance with the SEC Marketing Rule Support Code of Ethics administration, including personal trading and conflict analysis Coordinate branch review and risk assessment programs Manage compliance case workflows and referrals, including escalation to external compliance consultants Serve as liaison with third-party compliance vendors and implement recommendations Assist in vendor oversight and data protection efforts Partner with Legal, Operations, and leadership to mitigate compliance risks Support training initiatives and firm-wide compliance awareness

Requirements:

Required:

Bachelor's degree or higher in Finance, Business, Legal Studies, or related field 3-7+ years of compliance experience in an RIA or financial services firm Working knowledge of SEC regulations and the Investment Advisers Act Strong analytical and communication skills

Preferred:

IACCP designation Experience supporting SEC examinations Familiarity with compliance technology tools Experience working with compliance consultants

Our Core Values:

Thirst for

Knowledge:

You are curious and creative, always building expertise and asking the right questions.

Innovative Problem Solver:

You propose solutions, lead by example, and follow through on commitments.

Self-Motivated:

You are proactive, results-oriented, and energized by new challenges.

Authentic:

You lead with honesty and integrity in everything you do.

Positively Impact People:

You are committed to growing those around you and striving for collective success.